In case you're wondering what the regulators will be focusing on this year, they are kind enough to let you know when they publish their annual Exam Priorities Letters. This episode is Part 2 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters. Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and Senior Consultant Joe Turner talk about Market Access and Best Execution requirements.
Future exam priorities podcast topics will include:
CRC-Oyster: Compliance Risk Concepts / Oyster Consulting
